Regulation

Envestnet CEO Jud Bergman says experts plus machines deliver better outcomes than experts or machines alone.

Large mutual, pension and hedge funds are chasing better returns in rallying U.S. stock markets thanks to President-elect Donald Trump's pro-growth policies.

Though some say the rule's future is in doubt, the firm is going ahead with sweeping changes it hopes will make its advisers more competitive.

From fiduciary to robos to marketing: A close look at advisers’ top concerns and how their budgets have changed year-over-year, from TD Ameritrade’s annual survey.

Industry experts said the proposal shows that New York, which oversees a number of major Wall Street players, is positioning itself to take a more aggressive approach than its federal counterparts.

The advisor paid $50,000 to a widow's lawyer to refer her $100 million account to him – a fact he failed to disclose to the client, the agency claims.

The wirehouse alleges two arbitrators failed to disclose key information about their professional and personal histories.

The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

A deeper understanding of how to deploy robo technology is needed if a firm plans on offering a digital institutional solution, says Envestnet CEO Jud Bergman.

Exclusive: Advice Period, the newest RIA platform model, offers star power and IBD qualities. Is it enough?